Memorandum of Understanding on

Vietnamese-Swiss Joint Research Projects

between

Vietnamese National Foundation for Science and Technology Development (NAFOSTED)

and

Swiss National Science Foundation (SNSF)

The National Foundation for Science & Technology Development, hereinafter referred to as NAFOSTED, represented by Dr. Do Tien Dzung, Executive Director, located at 39 Tran Hung Dao Street, Hoan Kiem, Hanoi, Vietnam, in partnership with the Swiss National Science Foundation hereinafter referred to as SNSF, represented by Prof. Matthias Egger, President of the Research Council, and Dr. Marc Zbinden, Head of Interdisciplinary and International Co-operation Division, located at Wildhainweg 3, CH-3011 Bern, both hereinafter jointly or individually referred to as Parties or Party respectively.

On 12 July 2019, the NAFOSTED and SNSF signed a Letter of Intention in which the Parties agreed to support scientific collaboration in bilateral research projects.

The parties have reached the following understanding:

Article 1. Objective

• The aim of this Memorandum of Understanding (hereinafter referred to as MoU) is to establish and define the terms and conditions under which the Parties determine and outline the cooperation in the field of science and technology.

• The Parties agree to support Joint Research Projects (JRPs) for basic research and use­ inspired research. The JRPs to be funded can have a duration of 3-4 years. Calls for JRPs can either be thematically open or restricted to mutually agreed topics. When the topic of a call is restricted, the Parties agree to include at least one topic in the field of social sciences and humanities. For the first call in particular, the maximum project duration will be 3 years and the call will be thematically open.

• The Parties also agree to seek opportunities for other cooperation activities that are mutually agreed to enhance and strengthen the collaboration of both sides.

Article 2. Administrative representatives

In order to establish permanent and fluid communication channels between the Parties, they may appoint representatives.

• The representation of NAFOSTED will be held by the Planning and General Affairs Department.

• The representation of SNSF will be held by the Division InterCo, SNSF Administrative Offices.

Article 3. Financial resources

• For each of the JRP that may be approved under the scope of this MoU, the SNSF shall assume the funding of the research team from Switzerland, and NAFOSTED shall assume the funding of the research team of Vietnam, each Party in accordance with their own rules and regulations and budget availability.

• The present MoU does not involve the transfer of financial resources between the Parties. • The Parties shall determine for each project approved the contributions each Party will

make for their implementation. • Also, the Parties may jointly or individually obtain funds to finance the activities described

in this MoU from public or private, national or international organisations. • As a general and basic principle, each Party will fund the travel expenses of their own

investigators or fellows and eventual additional funds for field studies or small expenditures otherwise established, according to their financial means and funding procedures.

• The SNSF has earmarked a budget of CHF 2'500'000 for 10 projects for the first call, which means maximum CHF 250'000 for financing the Swiss part of a JRP.

• NAFOSTED has earmarked a budget for a maximum of 10 projects for the first call, with a maximum of VND 25 billion for financing the Vietnamese part of the JRPs.

• The budget for future calls shall be negotiated and decided prior to each respective call by the Parties.

Article 4. Call implementation

The details of implementation are agreed as follows:

• All joint project proposals shall be submitted by eligible researchers to a common platform (mySNF), and, simultaneously, to NAFOSTED.

• The evaluation of the proposals and final selection will be done through international peer review and a joint evaluation panel set up by both organisations, thereby respecting the specific rules, regulations, and practices of both Parties. The final selection shall be forwarded to NAFOSTED and SNSF for final acceptance, who will communicate their mutual agreement and decision to the candidates.

Article 5. Intellectual property

• Intellectual property will follow current regulations of both sides. • If applicable, Swiss and Vietnamese Principal Investigators must consult their host

institutions and other relevant organizations concerning their relevant IP regulations, and

must discuss and submit an additional agreement on intellectual property rights before signing the funding contract.

Article 6. Confidentiality

The Parties assure confidential treatment of any obtained information or data related to the joint activities.

Article 7. Individuality and autonomy of the parties

• In any circumstance or event in connection with this MoU, the Parties will maintain the individuality and autonomy of their technical and administrative organisations and personally assume the consequent responsibilities.

• This MoU does not limit the right of Parties to enter into similar agreements with other institutions. Anything not covered by this MoU shall be resolved by the Parties by mutual accord.

Article 8. Duration and termination

• This MoU will come into effect on the date of its signature and will remain in effect until 31 December 2025. It may be renewed if new bilateral calls or other forms of collaboration are foreseen. The renewal is to be decided at least six months prior to the expiration of the MoU.

• This MoU may be terminated without expression of cause by either Party by previous notice, made through irrefutable means, with an anticipation of no less than thirty (30) days of the date of the intended termination. The termination shall not entitle either Party to claim compensation of any nature. Termination of this MoU shall not affect ongoing commitments made by both Parties while the MoU was still in effect.

Article 9. Addenda and additional terms

• Addenda and Additional Terms may be concluded between the Parties covering specific fields of collaboration, confidentiality rules, and other appropriate matters for the implementation of the cooperative activities under this MoU.

• This MoU can only be amended by written agreement, signed by all Parties.

Article 10. Controversies

Disputes arising from the interpretation and application of this MoU are primarily subject to negotiations and agreements between the Parties. In the event that an amicable settlement cannot be reached, the dispute will be resolved by the jurisdiction belonging to the domicile of the defendant and the applicable law shall be that of the domicile of the defendant.

Article 11. Communications - notices

• For all purposes of this MoU, the Parties are domiciled in:

o NAFOSTED 39 Tran Hung Dao, Haan Kiem Hanoi, Vietnam

o SNSF InterCo Wildhainweg 3, P.O. Box CH-3001 Berne, Switzerland

o Or wherever the Parties irrefutably communicate their domicile in the future.

Article 12. Formal

• Each party validly signs the final version of the MoU and Annexes 1 and 2. • Each party sends a scan of the signed MoU and Annexes 1 and 2 to the other party and

confirms receipt, both by Email. • With the confirmation of receipt, both parties accept the MoU and Annexes 1 and 2 to be

legally binding. • Each party sends by post their signed versions of the MoU and Annexes 1 and 2 to the

other party for the second and final signature.

Vietnamese National Foundation for Science & Technology Development

Executive Director

a Au4es 17,2020

Swiss National Science Foundation

President of the Research Council

-~sEggec

one Zl{gt2zo Head of Interdisciplinary and International Co-operation Division

Dr. Marc Zbinden:

Date: 44 09. 2020

Annexes: Annex 1: Grant proposal Evaluation and Project Management Annex 2: Call document of the first joint call for JRPs

Annex 1. Grant Proposal Evaluation and Project Management (to the Memorandum of Understanding between NAFOSTED and SNSF)

1. Call launch

Prior to each call for proposals, the SNSF and NAFOSTED shall discuss the relevant

details of the execution plan, including call topics, launching and closing dates, re­

view and assessment timelines, call texts and other processes required by both sides.

2. Call text

The call text will be made available through the websites of the SNSF and NAFOSTED,

including details on proposal requirements and submission guidance. The call is

open for 3 months starting with the announcement of the funding call.

3. Eligibility of the proposals

Each proposal for a JRP must have at least one main applicant based in Switzerland

and one main applicant based in Vietnam; they are the lead scientists on the Swiss

and the Vietnamese side respectively. They bear the main responsibility for the pro­

ject, including its technical and administrative coordination as well as the timely de­

livery of scientific and financial reports. Further applicants based in Switzerland

and/or Vietnam can also participate in a JRP.

Eligibility criteria for Swiss applicants Main and further applicants on the Swiss side must meet all the eligibility require­

ments of the SNSF. The SNSF Funding Regulations, the General implementation reg­

ulations and the Regulations on Project Funding are applicable, or applicable mutatis

mutandis where not stated otherwise. It is not permitted to be a main or further

applicant in more than one application in the present call.

Swiss applicants can submit a proposal for a JRP even when they hold another SNSF

grant or have applied for one. Moreover, grantees may submit proposals to all SNSF

funding schemes during the funding period of a JRP, provided that there is no sub­

stantial thematic overlap. Please note that calls from bilateral programmes are not in

conflict with the restrictions applicable to the SNSF's national project funding in ac­

cordance with Article 13 of the Regulations on Project Funding.

Project partners as described in Article 11.2 of the SNSF Funding Regulations are not

entitled to receive funds from the SNSF if their affiliated institution is located in Vi­

etnam.

1

Eligibility criteria for Vietnamese applicants

The Principal Investigator (PI), Research Organization (RO) and research team mem­

bers on the Vietnamese side must all meet the eligibility requirements of NAFOSTED

as stated in the Circular No.12/2018/TT-BKHCN dated on 31 August 2018 regulat­

ing establishment and management of collaboration programs between NAFOSTED

and its international partners to fund for joint research projects and scientific activ­

ities.

4. Funding Budget

Budget for JRP proposals include two separate budgets: one budget in CHF for the

Swiss research team (paid by the SNSF according to the SNSF's rules) and one budget

in VND for the Vietnamese research team (paid by NAFOSTED according to

NAFOSTED's rules). Proposals must clearly differentiate the costs to be incurred by

teams based in Vietnam and in Switzerland. These costs must be compatible with

existing financial practices of NAFOSTED and the SNSF respectively.

With regard to international travel and subsistence, the overall principle is that air­

fare and insurance will be covered by the funded budget of the sending country, while

accommodation, meals, subsistence, and local travel will be paid by the country host­

ing the visit.

Eligible costs in Switzerland Personnel costs (salaries within the salary ranges and rates set by the SNSF

and social security contributions of scientific and technical employees); how­

ever, salaries of applicants are not eligible costs

Material costs, if they are directly linked to the research project, in particular

material of enduring value, the cost of expendable items, field expenses, travel

expenses or third party charges

Direct costs incurred through the use of research infrastructure linked to the

research work

Costs for granting access to research data (Open Research Data, max. CHF

10,000 per project)

Costs of organising conferences and workshops in connection with the funded

research

2

Costs of national and international cooperation and networking activities di­

rectly associated with the funded research

The SNSF regulations apply to the Swiss budget. Overhead costs are not admissible.

Costs for open access publications can be requested separately via the OA platform

of the SNSF.

Eligible costs in Vietnam Personnel costs (salaries for research team members)

Material and consumable costs that are directly linked to the research project

Equipment costs (limited)

Costs of organising conferences and workshops in connection with the funded

research

Costs of domestic travel and field expenses in the context of the funded re­

search

Costs for Vietnamese participants to travel between Vietnam and Switzerland

and host visits of Swiss participants to Vietnam for cooperation and research

activities directly associated with the funded research

Costs for outsourcing services that are directly linked to the research project

Costs for stationaries, communications, printing and photocopy in the context

of the funded research

Overhead costs

NAFOSTED regulations apply to the Vietnamese budget (Joint Circular No.

55/2015/TTLT-BTC-BKHCN and Joint Circular No. 27/2015/TTLT-BKHCN-BTC in

Vietnamese). If awarded, the requested budget shall be assessed by NAFOSTED to

ensure the funded budget meet actual research needs as well as national cost-norms

and regulations.

5. Grant Proposal Submission

Each proposal should be jointly prepared by Swiss and Vietnamese applicants in

English language using a common set of application forms jointly agreed by the SNSF

and NAFOSTED, identified clearly as a collaborative proposal under the joint funding

program and in accordance with specific guidance from both funders.

3

Award holders from Switzerland and Vietnam will be subject respectively to the ex­

isting regulations of the SNSF and NAFOSTED. In this regard, Vietnamese award

holders shall need to submit an additional research proposal and other documents

according to Vietnamese relevant laws and regulations in Vietnamese language to

NAFOSTED.

6. Grant Proposal Assessment After the submission deadline, the SNSF and NAFOSTED will conduct an eligibility

check for all submitted proposals according to their own regulations as well as the

guidelines of the call. If a proposal is submitted after the deadline, it is de facto inel­

igible.

The evaluation process is highly competitive and only highly rated applications will

be considered for funding. Peer reviewers and members of the evaluation panel must

meet SNSF's and NAFOSTED's requirements for evaluating experts.

Peer review: Proposals for JRPs will be reviewed according to standard international

peer review procedures, jointly organised by the SNSF and NAFOSTED. External ex­

perts conduct a peer review of the applications, verifying the scientific quality of JRPs.

At least 4 reviews (2 reviewers nominated by each funding agency) should be obtained

per proposal. In special cases when the number of qualified, available reviewers is

limited, both sides commit to obtaining at least 2 reviews ( 1 from each side) for that

specific proposal.

Evaluation panel: A joint evaluation panel will be set up, composed of equal numbers

of experts proposed by the SNSF and NAFOSTED. Based on the peer reviews, the

evaluation panel will evaluate each project following evaluation procedures and as­

sign one of six ratings to each project. The evaluation panel meeting shall be con­

ducted in either Switzerland or Vietnam. Each side shall bear its own costs incurred

in attending or hosting the meeting. If necessary and possible, the evaluation panel

can also be conducted via teleconference or videoconference.

The outcome of the joint evaluation panel should be a list of all proposals ranked

from highest priority to lowest priority and rated as recommended or not recom­

mended for funding, including the rationale for the ratings and recommendations.

Based on the recommendation of the joint evaluation panel and available budget, the

4

SNSF and NAFOSTED shall decide on the final list of proposals to be funded. At the

SNSF, the funding recommendations will need to be approved by the Specialised

Committee for International Co-operation and the Presiding Board. At NAFOSTED,

the funding recommendations will need to be approved by the Board of Trustees for

final decision.

7. Project Management

Swiss and Vietnamese Principal Investigators will be responsible for post-award re­

porting to the SNSF and NAFOSTED respectively, following each side's rules and reg­

ulations.

5

Annex 2: Call document of the first joint call for JRPs (to the Memorandum of Understanding between NAFOSTED and SNSF)

y-1Ba SWISS NATIONAL SCIENCE FOUNDATION

www.snsf.ch Wildhainweg 3, P.O. Box 8232, CH-3001 Berne Switzerland

NAFOSTED Mational Foundation

iene d Technology Developent

www. nafosted. gov. vn 39 Tran Hung Dao, Hoan Kiem, Hanoi Vietnam

Vietnamese-Swiss Joint Research Projects

Joint Research Projects: Call for Proposals 2020

Opening date: 01.10.2020

Deadline for voluntary pre-registration: 23.11.2020

Closing date: 15.01.2021

A maximum of 1 O projects will be funded for this call

1. Introduction

The Vietnamese National Foundation for Science and Technology Development (NAFOSTED) and the Swiss National Science Foundation (SNSF) are launching a joint call for the submis­ sion of applications to conduct joint research projects (JRPs) with a duration from 2 to 3 years.

2. Joint Research Projects

Grants for Joint Research Projects (JRPs) are aimed at promoting collaborative projects with clearly defined goals, involving at least one partner based in Switzerland and one based in Vietnam. Applications should describe ambitious research and propose innovative ap­ proaches. The research is to be carried out at the research facilities involved; reciprocal visits and short stays in Switzerland for researchers from Vietnam and vice versa are possible within the scope of a JRP.

The project duration is 2 to 3 years. Projects with a duration outside this range will not be accepted.

3. Area of research

This call for proposals is open to all research areas, allowing for both basic research and use­ inspired research.

4. Eligibility

Each proposal for a JRP must have at least one main applicant based in Switzerland and one main applicant based in Vietnam; they are the lead scientists on the Swiss and the Vietnamese side respectively. They bear the main responsibility for the project, including its technical and administrative coordination as well as the timely delivery of scientific and financial reports. Further applicants based in Switzerland and/ or Vietnam can also participate in a JRP.

Eligibility criteria for Swiss applicants Main and further applicants on the Swiss side must all meet the eligibility requirements of the SNSF. The eligibility criteria for the main and further applicants are identical. The SNSF Funding Regulations, the General implementation regulations and the Regulations on Project Funding are applicable, or applicable mutatis mutandis where not stated otherwise. It is not permitted to be a main or further applicant in more than one application in the present call. Swiss applicants can submit a proposal for a JRP under the present call even if they hold another SNSF grant or have applied for one. Moreover, grantees may submit proposals to all SNSF funding schemes during the funding period of a JRP, provided that there is no substan­ tial thematic overlap. Please note that the present call is not in conflict with the restrictions applicable to the SNSF's national project funding in accordance with Article 13 of the Regu­ lations on Project Funding. Project partners as described in Article 11.2 of the SNSF Funding Regulations are not entitled to receive funds from the SNSF if their affiliated institution is located in Vietnam.

Eligibility criteria for Vietnamese applicants The Principal Investigator (PI), Research Organization (RO) and research team members on the Vietnamese side must all meet the eligibility requirements of NAFOSTED as stated in the Circular No.12/2018/TT-BKHCN dated on 31 August 2018 regulating establishment and

Vietnamese-Swiss Joint Research Projects - Call for Proposals for JRPs 2020 2

management of collaboration programs between NAFOSTED and its international partners to fund for joint research projects and scientific activities (written in Vietnamese). Each applicant on Vietnamese side can participate in maximum two (02) projects funded by NAFOSTED at one time, of which being PI in maximum one (O 1) project. Proposals in which the PI exceeds this allowance will be deemed ineligible.

5. Funding

JRP proposals include two separate budgets: one budget in CHF for the Swiss applicant or applicants (paid by the SNSF according to the SNSF's rules) and one budget in VND for the Vietnamese applicant or applicants (paid by NAFOSTED according to the NAFOSTED's rules). The two countries have agreed to fund up to 10 projects if a sufficient number of proposals of high quality are submitted.

• The total budget available in Switzerland is CHF 2,500,000. The maximum budget available for the Swiss side of a project is CHF 250,000.

• The total budget available in Vietnam is VND 25 billion. The maximum budget avail­ able for the Vietnamese side of a project is VND 2.5 billion.

Eligible costs in Switzerland • Personnel costs (salaries within the salary ranges and rates set by the SNSF and social

security contributions of scientific and technical employees); please note that the sal­ aries of applicants are not eligible costs;

• Material costs, if they are directly linked to the research project, in particular material of enduring value, the cost of expendable items, field expenses, travel expenses or third party charges;

• Direct costs incurred through the use of research infrastructure linked to the research work;

• Costs for granting access to research data (Open Research Data, max. CHF 10,000 per project);

• Costs of organising conferences and workshops in connection with the funded re­ search;

• Costs of national and international cooperation and networking activities directly as­ sociated with the funded research.

The SNSF regulations apply to the Swiss budget. However, overhead costs are not admissible. Please note that costs for open access publications can be requested separately via the OA platform of the SNSF.

With regard to international travel and subsistence, the overall principle is that airfare and insurance will be covered under the funded budget of the sending country, while accommo­ dation, meals, subsistence, and local travel will be paid by the country hosting the visit.

Eligible costs in Vietnam • Personnel costs (salaries for research team members) • Material and consumable costs that are directly linked to the research project • Equipment costs (limited) • Costs of organising conferences and workshops in connection with the funded re­

search

Vietnamese-Swiss Joint Research Projects - Call for Proposals for JRPs 2020 3

• Costs of domestic travel and field expenses in the context of the funded research • Costs for Vietnamese participants to travel between Vietnam and Switzerland and host

visits of Swiss participants to Vietnam for cooperation and research activities directly associated with the funded research

• Costs for outsourcing services that are directly linked to the research project • Costs for stationaries, communications, printing and photocopy in the context of the

funded research • Overhead costs

NAFOSTED regulations apply to the Vietnamese budget (Joint Circular No. 55/2015/TTLT­ BTC-BKHCN and Joint Circular No. 27/2015/TTLT-BKHCN-BTC in Vietnamese). Please note that the requested budget shall be assessed by NAFOSTED and items that do not show clear relevance to research needs in the research plan or do not match national cost-norms and regulations can be cut down.

With regard to international travel and subsistence, the overall principle is that airfare and insurance will be covered under funded budget of the sending country, while accommodation, meals, subsistence, and local travel will be paid by the country hosting the visit.

6. Submission

Proposals are to be jointly prepared by Swiss and Vietnamese applicants. They must be sub­ mitted by the Swiss main applicant to the SNSF via its electronic submission system mySNF (www.mysnf.ch). Vietnamese applicants can be given access to the electronic submission sys­ tem.

Pre-registration: In order to facilitate the composition of the evaluation panel, main appli­ cants are strongly encouraged to create an application in mySNF as early as possible and fill in the data containers "Basic data I" and "Basic Data II" to indicate the disciplines and provide an outline of the planned research. The deadline for pre-registration is 23 November 2020. Only the data containers corresponding to the above-mentioned information need to be filled out in mySNF by this pre-registration deadline and can also be further processed after the pre-registration and until the final submission deadline.

Hardcopies of the application must not be submitted to either the SNSF or NAFOSTED. Nei­ ther the SNSF nor NAFOSTED will be held responsible for non-submission of an application. Note: If selected for funding, Vietnamese award holders shall need to submit an additional re­ search proposal and other documents according to Vietnamese relevant laws and regulations in Vietnamese language to NAFOSTED.

Submission on mySNF: After logging into mySNF, the correct funding scheme must be se­ lected: Programmes (national and international) > Bilateral Cooperation (Initiatives of the State Secretary for Education, Research and Innovation) > Vietnamese-Swiss Joint Research Projects

The application consists of two parts: • The administrative part, which must be completed online

o Personal data of the Swiss main applicant o Personal data of the Vietnamese main applicant o Personal data of any further applicants from Switzerland and/ or Vietnam

Vietnamese-Swiss Joint Research Projects - Call for Proposals for JRPs 2020 4

o Information on the employments of all applicants o Basic data on the project (e.g. title, research field, starting date, duration, sum­

mary) o Funding requested from the SNSF (funding requested from NAFOSTED to be

added in separate form, see below) o Information on authorisations required in Switzerland o Data Management Plan (DMP) o Other information (e.g. whether the project is related to other SNSF projects,

the name of the Swiss university /research institution at which the planned project will be implemented, statement concerning already available funds or funds requested elsewhere)

• Project documentation (in PDF format), to be uploaded to mySNF o Research plan (must have the structure indicated in the below Annex) o Funding requested from NAFOSTED o CVs and research output lists of all Swiss applicants (see Guidelines) o CVs and research output lists of all Vietnamese applicants (must be filled in

and downloaded from NAFOSTED's OMS before uploading to mySNF) o Expected publications and training results for Vietnamese applicants (please

refer to current lists of scientific journals announced on NAFOSTED's website for eligible publications)

o Equipment quotes (if applicable) o Other documents

All the information provided in the administrative part and all uploaded documents must be in English.

For specific questions related to www.mysnf.ch, please contact the support team by e-mail (mysnf.support@snf.ch) or telephone (+41 31 308 22 00). Please note that a user account is needed in order to submit proposals via mySNF. To open an account on mySNF, please reg­ ister as a user. Please note that it can take two to five days for a new account to be activated by the SNSF.

The proposal must include a Data Management Plan (DMP) set up according to the require­ ments issued by the SNSF. The proposal can only be submitted once the DMP has been com­ pleted. Applicants must enter a DMP that is comprehensible, suits their project and meets the standards set by their research community. At this stage, the DMP is considered a draft. It is excluded from the evaluation process and not shared with external reviewers. The final DMP must be provided by the end of the project at the latest.

The content of the DMP is directly entered in the mySNF submission form. It is not possible to upload a DMP as a separate PDF file. Please keep in mind the time needed to complete the DMP during the submission procedure.

All submitted documents must comply with the principles of scientific integrity. All applicants take responsibility for the correctness of their contributions. If the project plan is not written in accordance with the rules of good scientific practice all applicants are accountable and may be asked to provide a statement; ultimately the project may not be considered. Reference is made to internationally recognised standards on good scientific practice as well as to the SNSF's Research Integrity Regulations.

Vietnamese-Swiss Joint Research Projects - Call for Proposals for JRPs 2020 5

Deadline for voluntary pre-registration: 23 November 2020

Deadline for submission of applications 15 January 2021, 5 pm Swiss time

Late or incomplete applications will not be considered.

7 _ Evaluation

The evaluation process is highly competitive and only highly rated applications will be con­ sidered for funding. Peer reviewers and members of the evaluation panel must meet the SNSF's and NAFOSTED's requirements for evaluating experts.

Peer review: Proposals for JRPs will be reviewed according to standard international peer review procedures, jointly organised by the SNSF and NAFOSTED. External experts conduct a peer review of the applications, verifying the scientific quality of JRPs. At least 4 reviews (2 nominated by each funding agency) should be obtained per proposal. In special cases when the number of qualified, available reviewers is limited, the two sides commit to obtaining at least 2 reviews (1 from each side) for that specific proposal.

Evaluation panel: An evaluation panel will be set up, composed of an equal number of experts proposed by the SNSF and NAFOSTED. Based on the peer reviews, the evaluation panel will assign one of six ratings to each project. The panel members' funding and rejection recom­ mendations should both include a rationale. Priority will be given to applications with the highest ratings regardless of the research area.

Decision: The outcome of the joint evaluation panel should be a list of all proposals ranked from highest priority to not recommended for funding, with the rationale. Based on the rec­ ommendation of the joint evaluation panel and available budget, SNSF and NAFOSTED shall decide on the final list of proposals to be funded. At the SNSF, the funding recommendation will need to be approved by the Specialised Committee for International Co-operation and the Presiding Board. At NAFOSTED, the funding recommendation will need to be approved by the Board of Trustees for final decision.

Evaluation criteria (not listed in order of priority): • Scientific relevance • Originality of the aims and objectives • Appropriateness of the methodology and feasibility • Track record and expertise of the researchers • Complementarity of the research partners

The evaluation results will be communicated to the applicants in summer 2021. Swiss main applicants will receive a ruling from the SNSF. In case of rejection, the main reasons leading to the decision will be given. In case of approval, the Swiss budget and the conditions will be listed. If applicable, the Swiss main applicant will be responsible for transmitting the decision to the other Swiss applicants. The Vietnamese main applicant will be informed by NAFOSTED. In case of rejection, the main reasons leading to the decision will be given. In

Vietnamese-Swiss Joint Research Projects - Call for Proposals for JRPs 2020 6

case of approval, the Vietnamese budget shall be subject to an additional financial assessment and will also need to be approved by the Board of Trustees for final funding budget decision. The Vietnamese main applicant will be responsible for transmitting the decision to the other Vietnamese applicants.

Earliest starting date: 1 September 2021 The JRPs need to start within one year after the decision.

8. Reporting

Swiss and Vietnamese Principal Investigators (Pis) will report separately to the SNSF and NAFOSTED.

In Switzerland: The Swiss main applicant will be responsible for reporting to the SNSF. Standard SNSF reg­ ulations apply both for the financial and the scientific reports. The latter include a qualitative and a quantitative part (output data).

In Vietnam: The Vietnamese main applicant will be responsible for reporting to NAFOSTED. Standard NAFOSTED regulations apply both for the financial and the scientific reports. NAFOSTED shall conduct periodic assessments of the projects every year from the date of the signed contract, as well as a final assessment of the project after its completion.

9. Payments

In Switzerland (SNSF funding) Standard SNSF rules apply. In principle, the budgets for JRPs are transferred in annual in­ stalments to the Swiss main applicant at the beginning of a project year.

In Vietnam: Standard NAFOSTED rules apply. In principle, Vietnamese budgets are transferred in parts right after contract signing and continuously every next 1 year based on the results of periodic and final assessments of the project.

10. VAT

In Switzerland (SNSF funding) The JRP grants are not subject to VAT or other taxes and charges. However, research expenses are not excluded from VAT. Therefore, all eligible research expenses occurred during a JRP (e.g. equipment, consumables, etc.) can be charged to the programme, including VAT, unless the research institution (e.g. universities, public research organisations, etc.) is able to recover VAT.

In Vietnam: Research expenses occurred during a JRP can be subject to VAT or other taxes and charges and therefore are also subject to current relevant Vietnamese regulations.

Vietnamese-Swiss Joint Research Projects - Call for Proposals for JRPs 2020 7

11. Publications and intellectual property

The Pis are obliged to publish research results generated by the JRPs in appropriate form and according to SNSF's and NAFOSTED's standards as well as regulations.

In terms of intellectual property rights, Pis are subject to the relevant Swiss and Vietnamese laws and regulations on intellectual property. They must consult both the Swiss and Viet­ namese host institutions concerning their relevant IP regulations. If applicable, the Swiss and Vietnamese Pis must discuss and submit an additional agreement on intellectual property rights before signing the funding contract. It is the responsibility of each research partner to ensure the efficient protection and proper distribution of any intellectual property arising from the accomplishments of the joint research projects.

In principle, on the Vietnamese side, the rights to the research results gained from the imple­ mentation of scientific and technological tasks funded by NAFOSTED are owned by the State as regulated by the Vietnamese laws. On the Swiss side, the rights to the research results gained in the course of research work funded by the SNSF are owned by the Pis or their employer. Pis are obliged to define such rights together with their employer by no later than the time the funded research work is completed.

12. Further information and contacts

In Switzerland Swiss National Science Foundation Delphine Marchon Interdisciplinary and International Co-operation division Wildhainweg 3, P.O. Box 8232 CH-3001 Berne Phone: +41 (0)31 308 23 19 E-mail: delphine.marchon@snf.ch or international@snf.ch Website: www.snsf.ch

In Vietnam: National Foundation for Science and Technology Development Hoang Thanh Van Planning and General Affairs Department 39 Tran Hung Dao, Hoan Kiem, Hanoi Phone: +84 (24) 39367750 - ext. 503 E-mail: vanht@most.gov.vn or nafosted@most.gov.vn Website: www.nafosted.gov.vn

Vietnamese-Swiss Joint Research Projects - Call for Proposals for JRPs 2020 8

I I

Annex: Guidelines for writing the research plan (scientific part of the proposal)

The research plan must not exceed 20 pages and 80,000 characters (with spaces); this includes title or front page, summary, footnotes, illustrations, formulae, tables (and, if appli­ cable, the table of contents), but not the bibliography. A minimum of point 10 font size and 1.5 line spacing must be used.

The SNSF and NAFOSTED do not consider applications that do not meet the formal require­ ments and/ or are manifestly inadequate.

The research plan needs to be structured as follows:

1. Summary of the research plan (max. 8,000 characters) Should include the most important features of your research plan and place your project in a broader scientific context.

2. Research plan

2.1 Current state of research in the field By citing the most important publications in the relevant field, please set out the scientific back-ground and basis of the project, explain the need to perform research on the topic you propose and briefly describe important research currently being conducted internationally.

2.2 Current state of own research and partnership aspect • Please describe briefly the work done by the different applicants in the relevant research

field or in related fields and indicate the relevant publications. • Explain how the different applicants complement each other for the proposed research

project. • Describe past collaborations that involved the Swiss and Vietnamese partners (if applica­

ble).

2.3 Detailed research plan Against the background described in sections 2.1 and 2.2, state the aims that you plan to attain during the lifetime of the project. Please consider the following points: • Which investigations and/or experiments do you plan to carry out/are necessary to at­

tain the stated aims? • What is the rationale for getting the project started and how do you intend to develop the

work later on? • What is the expected added value (synergistic benefit) of the collaboration?

Information concerning the methods necessary to attain the aims: • Which are the methods available to you? • To which other methods do you have access and how? • Which methods need to be developed?

Data and data collection: • Which data are available to you and from where? • Which data need to be collected?

Vietnamese-Swiss Joint Research Projects - Call for Proposals for JRPs 2020 9

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2.4 Work division, schedule and milestones • Please indicate how you plan to divide the work among the different partners. • As far as possible, please give an approximate schedule for the work to be carried out

within the project and indicate the most important milestones. In particular, please de­ scribe the major tasks of the staff to be employed within the project by the different part­ ners.

• List the planned visits between the Swiss and Vietnamese research groups (visiting scien­ tist, hosting scientist, purpose of visit, date and duration of visit).

2.5 Importance, impact and results Scientific importance and impact Please describe briefly the importance of your research for the scientific community and the impact you expect from the project on research, training and teaching in your field/disci­ pline. Please indicate how you will publish/ communicate your results.

Expected results and dissemination plan Describe in detail the project outcomes you envisage, including new theories, methods, ma­ terials; scientific significance and potential application. Explain how you will share these findings with stakeholders and the community. Address the potential for knowledge transfer to industry (if applicable).

For Vietnamese applicants in particular, the form for reporting expected publications and training results must be filled in and upload separately to mySNF.

Broader impact If your application concerns use-inspired research, please indicate whether and to what ex­ tent the proposed project will have a broader impact and what this impact will be. The fol­ lowing points should be addressed: • Need for research as perceived by practitioners/industry: are there any knowledge gaps?

Are innovations and improvements expected? • Transferability of results: to what degree can research results be put into practice? • Other potential impacts: in which spheres outside science could the implementation of

the research results entail changes and what is the nature of these changes?

3. Bibliography (does not count toward the 20 pages)

4. Ethical, safety and regulatory issues (does not count toward the 20 pages)

Does your proposed work raise ethical, safety or regulatory issues? If yes, how will you deal with them?

Please indicate whether the proposed research includes: Switzerland (yes/no) Vietnam (yes/no)

Research on humans Research on human embryonic stem cells

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I Research on animals I I Research on GMO or pathogens I

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